- Siebert Williams Shank (New York, NY)
- …the number two compliance professional for a SEC registered and FINRA member broker - dealer * Have Operations experience including but not limited to ... Siebert Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA -registered broker / dealer ) is seeking to add a knowledgeable, driven, intellectually curious… more
- NatWest Markets (Stamford, CT)
- …as necessary to ensure the proper operations of the department and the business._ ** Broker Dealer Testing VP** This role will report to the Head of Broker ... Broker Dealer Testing, VP Stamford,United States...and securities products and compliance including knowledge of CFTC, FINRA , SEC, CMA regulations. Specifically, with FINRA … more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational...or comparable experience + Must be able to obtain FINRA SIE and Series 99 within 6 months of… more
- Truist (Winston Salem, NC)
- …the day-to-day supervisory reviews that are performed. + Supervisory responsibility for Broker Dealer trading activity. + Provide oversight and support for ... that are routinely associated with those of a retail broker / dealer to engage with advisors in the...operations . + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong… more
- Truist (Raleigh, NC)
- …functions that are routinely associated with those of a retail broker / dealer . Telecommuting/Remote workstyle may be considered for well-qualified individuals ... Office software products. + Ability to travel, occasionally overnight. **Preferred Qualifications:** + ** FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be… more
- SMBC (New York, NY)
- …subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions (eg, Operations , IT, and Risk). + ... well-organized presentations and communications. + Experience working for a non-U.S. bank / broker dealer is highly desirable. + Familiarity with US legal and… more
- Atria Wealth Solutions (King, NC)
- …by OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker / dealer . + Accountable for meeting annual business ... have the following abilities: to read, to perform arithmetic operations quickly and accurately; to see details and recognize...and registered through CUSO Financial Services, LP (CFS). Member FINRA /SIPC. CFS is a broker / dealer … more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- Capital One (New York, NY)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... institutional FINRA registered broker dealers and provide compliance...framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- PNC (Pittsburgh, PA)
- …performed remotely, at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- SMBC (New York, NY)
- …activities. + Strong knowledge in US securities laws, rules and regulations and broker dealer fixed income operations including TRACE reporting, Primary ... regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance… more
- Broadridge Financial Solutions (Newark, NJ)
- …etc) + 10 years of experience in a risk mgmt. within a financial services or broker dealer environment + Experience with regulatory agencies such as FINRA , ... Were seeking a Vice President of Risk Management and Operations Controls. You will have the opportunity to work...Ensure compliance with all relevant regulatory requirements, such as FINRA , SEC and other governing bodies + Liaise with… more
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived ... * OPERATIONS ANALYST* WHAT IS THE OPPORTUNITY? Provides operational...* 3 to 5 years of experience in a broker dealer or investment industry * Minimum… more
- Citigroup (Jacksonville, FL)
- …staff development and ability to delegate + In-depth knowledge of Bank and Broker - Dealer businesses + Strong knowledge and experience in complex investment ... Private Client Wealth Supervision manages a team of over 50 FINRA -licensed colleagues responsible for the supervisory oversight of investments sales activity… more
- MUFG (New York, NY)
- …and maintenance of applications that support the back-office functions of the broker - dealer , including trading operations , risk management, and regulatory ... of experience in application management, with a focus on financial services or broker - dealer industry. + Strong technical background in .NET, Java, and… more
- NatWest Markets (Stamford, CT)
- …with US securities regulators + JDrequired,MBA preferred. + Strong understanding of the broker dealer and swap dealer business and associated regulations, ... may be assigned as necessary to ensure the proper operations of the department and the business._ **Head of...considerations when responding to regulators. + Good knowledge of broker - dealer and swap dealer processes… more
- SMBC (Jersey City, NJ)
- …Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail banking operations ; US and LATAM representative ... focus of this role will be on the US broker dealer and US swap dealer...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- Hold Brothers (New York, NY)
- …+ Work closely with senior accountants and financial analysts to understand the broker - dealer operations Requirements + Currently enrolled in a Bachelor's ... summary reporting and superior technology and service. Hold Brothers is a self-clearing broker - dealer is a member of FINRA and SIPC. Job Summary We… more
- Navy Federal Credit Union (Vienna, VA)
- …within 90 days of hire) + Appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Willingness to pursue CFP, ... document basic account activity and execution per NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct periodic review of accounts to communicate… more
- NatWest Markets (Stamford, CT)
- …management, and funding. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations . + Individual must be self-motivated who ... US Operations Oversight & Advisory Stamford,United States Permanent Full...in delivering on responsibilities. **Qualifications** + Undergraduate Degree + FINRA Series 99 and/or 7 + 10+ years' experience… more